Moore & Van Allen Law Firm, Attorneys

Securities, Commodities & Derivatives Litigation

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Moore & Van Allen’s Securities Litigation team includes attorneys with broad backgrounds and diverse experience serving clients in the heavily regulated and litigious securities industry. Comprised of former prosecutors from the U.S. Department of Justice and other agencies as well as former brokers who worked on the business side of the industry, our team has a thorough understanding of the many parties often involved in securities litigation engagements or regulatory inquiries.

Trusted When it Matters Most

Securities litigation brings tremendous scrutiny to the companies and professionals involved. Fortune 100 companies and securities professionals with regional and national broker-dealers have trusted us to provide sound counsel in securities matters involving FINRA, SEC, DOJ, CFTC and CBOE and more. We also regularly defend institutions and individuals against customer disputes, shareholder claims and securities class actions.

Often, securities litigation is the catalyst for a regulatory investigation. Our team’s experience working with government agencies and U.S. attorneys’ offices enable us to navigate such situations quickly and effectively. We also work closely with Moore & Van Allen’s Regulatory Investigations team, drawing on their tools and experience to lead comprehensive yet cost-efficient investigations.

 Trial Ready

First and foremost, we are trial lawyers. We approach every case with an eye toward a hearing or trial on its merits – and our clients benefit from having trial counsel who not only are seasoned courtroom veterans, but also recognize the larger regulatory ramifications that may impact trial strategy. Clients also enjoy the peace of mind that comes from knowing their case will be fully prepared for trial should negotiations or early disposition efforts prove unsuccessful.

Wide Range of Experience

We have successfully handled matters involving:

  • Customer disputes
  • Regulatory enforcement actions
  • Shareholder claims
  • Derivative actions
  • Broker wrongdoing
  • Broker raiding or protocol disputes
  • Insider trading
  • Securities Act violations
  • Failure to supervise
  • Market manipulation
  • Check kiting
  • Money laundering
  • Compliance policies and procedure deficiencies
  • Sarbanes-Oxley violations
  • State and federal securities fraud
  • Tax fraud
  • Whistleblower/Qui Tam claims

Representative Engagements:

  • Represented several public companies in defense of actual or threatened shareholder suits alleging breach of fiduciary duty by members of the boards of directors. 
  • Secured dismissal of a claim against a broker-dealer stemming from a hundred-million dollar check-kiting Ponzi scheme in which client was alleged to have failed to monitor accounts as needed to prevent such a scheme from occurring.
  • Represented numerous public companies, broker-dealers, and individual brokers in regulatory and SRO investigations and enforcement actions.
  • Successfully defended broker-dealers and individual brokers in various FINRA arbitrations involving customer disputes.
  • Secured removal of a securities fraud class action brought in state court to federal court, where the case was dismissed.
  • Defended broker-dealer client against RICO, Unfair and Deceptive Trade Practices, and aider/abettor claims brought by shareholder class related to alleged fraud perpetrated by the public company’s officers and directors.
  • Represented large brokerage firm in the defense of a class action brought by victims who lost investments in a highly publicized Ponzi scheme.


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